Business Advice - Home
Authority Principle
The Principle of the Home
Authority
Introduction
The Home Authority Principle is supported by
local authority food and trading standards
services throughout the United Kingdom.
A local authority acting as a home or originating
authority will place special emphasis on the
legality of goods and services originating within
its area. It aims to prevent infringements by
offering advice and guidance at source in order
to maintain high standards of public protection
at minimum cost.
The Principle underpins the principles of free
trade 'in fit products and services' and
acknowledges that local priorities need to be
considered in the context of national and
European obligations. In Summary:-
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Businesses recognise that the Home Authority
Principle enables them to reduce compliance
costs and implement the law in a spirit of
consultation rather than confrontation. Good
enforcement practices are also effective in
minimising duplication and reducing public
expenditure.
N.B. The Guidelines cannot remove the onus
of compliance from business itself; nor
remove the primary responsibility for
enforcement from the authority in whose area
a specific incident has taken place.
Definitions
Local authorities have three distinct roles as:
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Home Authority:
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the authority where the relevant decision
making base of an enterprise is located.
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Originating Authority:
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an authority in whose area a
decentralised enterprise produces goods
and services.
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Enforcing Authority:
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all authorities when undertaking an
inspection, sampling or investigative
role.
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The Home Authority
A local authority acting as home authority
has a particularly important role within the
system. The function of giving advice on
regulation, good practice and remedial action is
a legitimate aspect of enforcement. The home
authority will prioritise surveillance of the
practices and policies of businesses based within
its area. In particular it will:
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act on behalf of originating and
enforcing authorities as the primary
regulatory link to businesses within its
area;
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liaise promptly with originating
authorities likely to have special
knowledge of problems at the point of
production or service delivery;
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name contact officers and identify the scope
of its home authority service;
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maintain a record of relevant incidents,
company policies, diligence systems and
advice;
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make clear in offering advice that whilst
the home authority may not institute
proceedings this would not preclude other
authorities from taking legal action;
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assist enforcing authorities in their
conduct of necessary investigations and
encourage businesses to offer all reasonable
assistance; and
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be transparent and be willing to amend advice
found to be inappropriate.
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The Originating Authority
An originating authority will closely
monitor production and should acknowledge that
advice and surveillance at source minimises
duplication, enabling enforcing
authorities to concentrate on hazard, fraud
and complaint. It may also:
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review a business's quality and diligence
procedures and liaise with the home
authority, where appropriate;
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accept that the operational arrangements of
businesses vary widely and acknowledge there
will be circumstances when the originating
authority may need to undertake the
functions of the home authority.
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The Enforcing Authority
All authorities are enforcing authorities
and accept that, notwithstanding the Home
Authority Principle, each local authority retains
its ultimate statutory responsibility for the
enforcement of the law. However it should:
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liaise with the home authority before
embarking on detailed investigations or legal
actions;
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communicate with the home authority in
specific terms, preferably in writing,
indicating details of the issue; the
nature of the assistance required and whether
or not, it is content to leave action to the
judgement of the home authority;
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ensure that the relevant documents, formal
cautions, decisions to prosecute and the
results of legal proceedings are notified to
the home authority.
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take account of advice given to a business by
the home or originating authority.
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The Role of Business
The Principle is designed to help and guide
business. However, businesses must cooperate and
accept they have the onus of compliance.
Businesses should:
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be willing, when seeking advice, to disclose
relevant details of control, standards,
recipes, specifications and diligence
procedures;
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be prepared to supply evidence in support of
statements, procedures or claims;
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accept that the advice given by a home
authority is given in good faith and that
it may subsequently have to be amended in the
light of new evidence or circumstances.
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Synopsis
The Home Authority Principle has been developed
by food and trading standards authorities as an
aid to good enforcement practice. Practices which
protect the consumer, encourage fair trading,
consistency and common sense. It aims to:
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encourage authorities to place special
emphasis on goods and services originating
within their area;
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provide businesses with a home authority
source of guidance and advice;
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support efficient liaison between local
authorities;
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provide a system for the resolution of
problems and disputes.
The Principle commands the support of local
authorities, central government, trade and
industry associations, consumer and professional
regulatory bodies.
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The Role of LG Regulation
LG Regulation, a local government Central Body,
has pioneered the Home Authority Principle and is
committed to its implementation and development.
It will
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assist individual businesses with the
identification of an appropriate home
authority;
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encourage home and originating
authorities involved with specific types
of businesses to liaise, when necessary;
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provide consensus advice and national
guidance in respect of problems referred by
local authority liaison groups or trade
associations;
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provide on request a 'fast track'
conciliation procedure to resolve enforcement
differences between authorities likely to
impact on a business; [NB: This service is
not available for issues which are subjudice;
nor for differences between a single
authority and an enterprise]
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maintain a home authority database;
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monitor the Home Authority Principle and
report on the number and nature of legal
actions taken contrary to the advice of a
home authority or LG Regulation National
Panel.
European Footnote
LG Regulation has advocated the development of
the Principle throughout the European Union. Its
principles are central to the single market and
to LG Regulation appointment as the United
Kingdom Liaison Body under the EC Additional Food
Control Measures Directive.
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Stockton-on-Tees Borough Council